Monitor the webpages of other regulatory agencies for potential Related Actions

All investigations are confidential, so you should not expect the Whistleblower Office to provide you with an update on the status of your complaint

Complete Form TCR
(Tip, Complaint, or Referral)

Refer to the Privacy Act Statement, Submission Procedures, and Completion Instructions included with the Form TCR as needed to complete this form.

A Form TCR can be submitted either online or via mail or fax. Only one method of submission needs to be completed.

The online form is best viewed using Internet Explorer (IE) 9 and higher and Firefox 26 and higher. After 65 minutes of inactivity, the online form will timeout, and all data will be lost. You will then need to re-access the form to enter your data again.

You can submit attachments/supporting files with your Form TCR. Examples include screenshots of trading activity or solicitation emails.

You can later supplement your Form TCR by email if you obtain additional information. Be sure to reference your original Form TCR confirmation number.

How to Become a Whistleblower Eligible for Award

The first step to becoming eligible for a whistleblower award is for an individual or group of individuals to submit a tip, complaint, or referral on a Form TCR that contains information about a potential violation of the CEA. Whistleblowers can be anyone: corporate insiders, market observers, investors, customers, and fraud victims. A whistleblower need not be a company insider. But entities cannot be eligible for awards themselves, and not every whistleblower will be eligible for an award.

Information provided by a whistleblower could lead the Commission to open a new investigation, re-open a closed investigation, pursue a new line of inquiry in an ongoing investigation, or significantly contribute to the success of an enforcement action. This could result in a successful enforcement action or a Related Action, which could be brought by another governmental authority. Only those whistleblowers who submit information before the CFTC contacts them will be eligible for an award. In order for information to be voluntarily submitted, it must be submitted before the CFTC or certain other authorities request, inquire, or demand information from the whistleblower related to the original information being provided.

Individuals can submit a tip anonymously, with or without a lawyer’s help. Because the CFTC may need to contact a whistleblower for more information, individuals should provide some means of contact, such as an email address or telephone number. Likewise, there are detailed requirements for submitting an award application anonymously. If you have any questions about submitting anonymously, you are encouraged to contact the Whistleblower Office before you file.

Whether or not an individual submits anonymously, the CFTC is committed to protecting the identities of whistleblowers. The CFTC treats information learned during the course of an investigation—including the identity of sources—as non-public and confidential.

The exception to this policy is that in an administrative or court proceeding, the CFTC may be required to produce documents or other information which would reveal a whistleblower’s identity. Likewise, the CFTC may also provide the information provided by whistleblowers, subject to confidentiality requirements, to other government or regulatory entities.

The whistleblower must have submitted an award application (Form WB-APP) in response to a Notice of Covered Action or a final judgment in a Related Action or both

Related Frequently Asked Questions

Who can be a whistleblower eligible for an award?

A whistleblower eligible for an award can be any individual who sends the Commission a Form TCR containing information about a potential violation of the Commodity Exchange Act. Examples range from a corporate officer or insider, to a trader or market observer, to an investor or fraud victim. A company or another entity is not eligible to be a whistleblower. Rules 165.2(p), 165.3

However, not every person who files a TCR will be eligible for an award. To be eligible, a whistleblower must "voluntarily" provide the Commission with "original information" about a violation. Those terms are explained in these FAQs. Also, certain persons – including certain government and self-regulatory personnel, and persons convicted of a crime related to the conduct at issue in the whistleblower matter – are ineligible for an award. Rules 165.5(a), 165.6

How could my information lead to a successful enforcement action?

Your information could lead the Commission to open a new examination or investigation, re-open a previously closed investigation or pursue a new line of inquiry in connection with an ongoing investigation, and the Commission could bring a successful enforcement action based at least in part on the information you provided. Additionally, your information could relate to an ongoing examination or investigation and significantly contribute to the success of an enforcement action. If your information leads to a successful enforcement action you may be eligible for an award. Rule 165.2(i)

I work at a company with an internal compliance process. Do I have to report violations of the Commodity Exchange Act internally first to be eligible for a whistleblower award?

You do not have to report internally to be eligible for a whistleblower award, and you may submit your information directly to the Commission at any time.

If you choose to report internally first, your information will be deemed to be submitted to the Commission on the date you reported it internally if you also report it to the Commission within 180 days of that date. Under these circumstances, the Commission will consider your place in line for determining whether your information is "original information" to be the date you reported it internally. In addition, if your company conducts an investigation and reports the results to the Commission, you may benefit from the information that the company's investigation reveals when the Commission considers whether you should receive an award and what percentage you should receive. Rule 165.2(i)(3)

Also, the fact that you reported your information internally, and the extent to which you helped your company uncover a violation, will be considered as factors that may increase the size of any award that you are eligible to receive. Rule 165.9(b)(4)

Please refer to the Things To Know section of this site for more information.

How do I submit a whistleblower tip to the CFTC?

To become eligible for a whistleblower award, you must complete and submit a Form TCR electronically, by mail, or by facsimile.

You may file a Form TCR electronically by clicking on the Submit a Tip button at the top of the page, or by clicking on the "File a Tip or Complaint" button on the right-hand side of the CFTC's homepage, www.cftc.gov, and selecting the option for the Whistleblower Program.

Please refer to the Things To Know section of this site for more information.

Can I submit my whistleblower tip anonymously?

Yes. You can file your Form TCR anonymously, with or without a lawyer's help. Because the Commission may need to contact you for more information, and because ongoing cooperation while the Commission is investigating a matter is a factor in determining any award amount, you should provide some means of contact, such as an email address or telephone number. Also, there are detailed requirements for making an award claim anonymously. Rules 165.3(c), 165.4(b), 165.7(c)

If you have any questions about filing anonymously, the Commission strongly encourages you to contact the Whistleblower Office by sending an email to [email protected] or calling the Whistleblower Hotline at 1-866-873-5675 before you file.

Will the CFTC keep my identity confidential?

Whether or not you seek anonymity, the Commission is committed to protecting your identity. For example, the Commission will not disclose your identity in response to requests under the Freedom of Information Act. As a general rule, the Commission treats information learned during the course of an investigation – including the identity of sources – as non-public and confidential.

There are, however, limits on the Commission's ability to shield your identity. For example, in an administrative or court proceeding, the Commission may be required to produce documents or other information which would reveal your identity. In addition, as part of the Commission's ongoing investigatory responsibilities, the Commission may use information you have provided during the course of an investigation. In appropriate circumstances, the Commission may also provide information, subject to confidentiality requirements, to other governmental or regulatory entities. Rule 165.4

Will you update me on the status of my TCR?

No. Because all the Commission's ongoing investigations are confidential, we cannot confirm or deny the existence of an investigation, inform you whether an investigation has been opened or closed, or otherwise provide you with updates on the status of your complaint.

May I submit additional information after I have filed a TCR?

Yes. If you wish to provide us with additional information, you may do so via email, mail or fax. Please include your confirmation number (TCR number) with any additional information you submit.